S.C. Code Regs. § § 13-404

Current through Register Vol. 48, 12, December 27, 2024

Section 13-404 - Criminal Record Requirement for Agents and Investment Adviser Representatives

Pursuant to Section 35-1-406(a)(2), every person applying for registration as an agent or investment adviser representative in this State must request the South Carolina Law Enforcement Division to submit directly to the Securities Commissioner a criminal record history. This requirement is waived for FINRA registered broker-dealer agents.

S.C. Code Regs. § 13-404

Added by State Register Volume 30, Issue No. 6, eff June 23, 2006; State Register Volume 39, Issue No. 06, eff. 6/26/2015.